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While the financial industry is more complex and diverse than ever before, today’s independent financial advisory practice comes in two flavors: enterprise and lifestyle. A business that continues to thrive beyond the proprietor’s own...

Irvine: “I got into this business because you didn’t need to rely on anyone but yourself.  If you could perform, you could make a lot of money.  I never intended to be managing people, or as you say leading a team,&rdquo...

The challenge of succession planning is really about examining an independent advisor’s aspirations for his or her own legacy. Where past generations of independent advisors may have been content to treat their practices primarily as income...

The day-to-day world of a financial advisor is full of distractions. The following tips will help improve the efficiency of any advisor.

In a special closed door session at the First Allied Securities national annual conference in San Diego this week, I met with a diverse group of female independent financial advisors.  Some of these advisors were in the early phases of...

The intersection of succession planning and next gen planning is key

While the advisor and accountant might seem like an odd couple, there are synergies to be had

It seems FINRA is getting closer to requiring advisors with transition packages exceeding $100,000 to disclose the compensation to their clients...